SEC Form 4 · accession 0001140361-17-045396
Energous Corp · WATT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen R Rizzone
Officer — CEO and President · Director
Period of report
Dec 4, 2017
Accepted (ET)
Dec 7, 2017 · 8:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001575793
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 4, 2017 | M | 47,350 | $1.68 | A | 328,609 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $1.68 | Dec 4, 2017 | M | 47,350 | D | — | Dec 11, 2023 | Common Stock | 47,350 | 200,141 | D |
Explanation of responses
- F1Includes 1,320 shares acquired under the Issuer's employee stock purchase plan on June 30, 2017.
- F2The shares from the stock option grant issued on December 12, 2013 are fully vested and exercisable.